Our Approach

Let's be frank. We want to succeed, be prosperous and enjoy our work. Doesn't everyone? To do so, we need to do one thing: ensure our clients succeed and are happy with our work!  

Word of mouth will contribute more to our growth than any search engine optimization can ever achieve. For our own best interests, we must make our clients’ goals a resounding success. 

Reputation is everything is this industry, so how good are we? Check out our Testimonial Page and see how we are doing. 

We need to be a good fit. And though we may want it to be, every project isn't for us.

We analyze the consultation to ensure it is a good fit for both ourselves and our clients. We take this seriously, just as you do when hiring a full time senior manager. We strongly believe the financial services industry has long out grown the ability of one consulting firm, of any size, to meet all of its needs. We stay within the areas where we are  confident we will achieve our client’s objectives.

Our clients appreciate how valuable it is to work with a consultant who has held the Series 3, 7, 24, 27 and 63 and is a FINRA arbitrator and is a FINRA arbitrator and an Anti-Money Laundering specialist.

Tell us the risks/rewards. What skin is in the game?

Help us understand what this means to you. We appreciate that any project must ultimately have a positive effect balancing your risk and your P&L. The better we understand what is at stake, the more we can evaluate your likelihood for success, and the correct route to achieve it for you.

Deliver the fundamentals. This really isn't rocket science.

Our consultations are professionally managed and you set the level and frequency of communication to whatever degree you prefer. Agreed upon parameters will be established to guarantee your ultimate satisfaction. We will:  

  • Define the specifics of the engagement
  • Plan the project - document the process as needed
  • Measure ongoing results if applicable
  • Communicate throughout the project
  • Deliver on time
  • Follow up to ensure success

If in doubt, give us a call. We view every conversation as an opportunity to learn, to help, and to expand our networks of associates in the industry, whether or not we end up with an engagement.